Search for: "State v. Dodd"
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5 Jan 2011, 1:17 am
In addition, aggrieved investors in failed or troubled privately held banks also filed a variety of other lawsuits, primarily in state courts. [read post]
24 Jan 2019, 2:36 pm
For instance, in SEC v. [read post]
24 Nov 2024, 9:01 pm
” The firm agreed to pay approximately $166 million in disgorgement and prejudgment interest and an $83 million civil penalty to resolve the SEC’s charges; FirstEnergy Corp. for a multi-year political corruption scheme in which FirstEnergy and affiliates made payments to an entity controlled by a state legislator in exchange for official action benefitting FirstEnergy. [read post]
16 Apr 2021, 8:43 am
The bill would ban all mergers and acquisitions for companies with over $100 billion in values, the release stated. [read post]
30 Nov 2011, 2:15 pm
” Now, as to why robo-signing only seems to be a serious prosecutable crime in the State of Nevada? [read post]
3 Sep 2013, 1:38 am
Every fall, I take a step back and survey the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
22 Jan 2024, 9:01 pm
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
13 Oct 2010, 4:20 pm
If I wanted to use the corporation, I suppose I would simply contact the state and pay the current fees and bring it back to life. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
17 Dec 2009, 6:33 am
Emmerich, Sabastian V. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
